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Showing 341 - 350 of 6423 results for "Regulatory"

Crown Wealth director banned for two years

KARREN VERGARA  |  THURSDAY, 30 OCT 2025
ASIC has banned another former Crown Wealth Group staffer from working in the financial services industry for showing incompetence in addressing fees-for-no-service (FFNS) misconduct. Brendan Rodwell, who was the director of Crown Wealth Group, was ...

Tech concentration in super a major concern: APRA

ELIZA BAVIN  |  THURSDAY, 30 OCT 2025
... telecommunications, emerging technologies, and platforms increasingly converge, APRA will continue to engage with government and regulatory peers as the Critical Infrastructure reforms evolve further. "Our focus will remain on shaping sector-wide incident ...

Morningstar DBRS expands into regional Australia

ANGELIQUE MINAS  |  WEDNESDAY, 29 OCT 2025
... Cook has been responsible for establishing and managing compliance functions across a diverse range of products and regulatory regimes. This includes APRA in prudential standards and ASIC in licensing, consumer credit, privacy and oversight of frameworks ...

Housing Australia Future Fund under audit

ELIZA BAVIN  |  WEDNESDAY, 29 OCT 2025
The government's Housing Australia Future Fund (HAFF) is being audited by the Australian National Audit Office (ANAO), Auditor-General Caralee McLiesh has confirmed in a letter to Senator Andrew Bragg. In addition, McLiesh said the ANAO is also ...

James Mawhinney launches another appeal

JAMIE WILLIAMSON  |  TUESDAY, 28 OCT 2025
Mayfair 101 managing director James Mawhinney is appealing the Federal Court's decision to bar him from dealing in financial products for 15 years. Last month, the Federal Court upheld a previous decision to ban Mawhinney from receiving or soliciting ...

Actuaries Institute makes proposal to close advice gap

ELIZA BAVIN  |  TUESDAY, 28 OCT 2025
... and evolving needs. "The financial advice landscape in Australia is undergoing significant transformation. Increasing regulatory change, heightened consumer expectations and the pressing need to close the advice gap have created urgency for a more accessible ...

Challenger, Iress partner for retirement income solution

ELIZA BAVIN  |  TUESDAY, 28 OCT 2025
... right solution for their clients - including a fragmented advice process, inconsistent product information and complex regulatory requirements," Willmer said. "We're delighted to be partnering with Challenger to address these issues and provide a more ...

UGC auditor 'comprehensively failed', registration stripped

JAMIE WILLIAMSON  |  MONDAY, 27 OCT 2025
The man responsible for auditing United Global Capital and its two managed funds has had his company auditor registration torn up after he was found to have 'continuously failed to undertake basic audit work' that could have saved millions in SMSF investors' ...

Netwealth invokes Part 23 of SIS Act in First Guardian response

JAMIE WILLIAMSON  |  MONDAY, 27 OCT 2025
Netwealth has applied to the government for financial assistance under Part 23 of the Superannuation Industry (Supervision) Act 1993 in order to compensate members impacted by the First Guardian failure. This morning, the listed platform and superannuation ...

Shield, First Guardian fallout calls for tougher scrutiny on research houses, licensee governance

MATTHEW WAI  |  FRIDAY, 24 OCT 2025
... of fund research, adding that the payment system needs to be changed as well. "At the moment, there is very little regulatory oversight to ensure the accuracy and independence of fund research," he argued. "A research house should have an AFSL issued ...